SUGGESTED ROUTING:*
Senior Management
Institutional
Legal & Compliance
Trading
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The Securities and Exchange Commission approved on October 10 the establishment of Nasdaq
SEC Approves Operations Professional Registration Category and Consolidated FINRA Continuing Education Rule
TO: NASD Members and NASDAQ Level 2 and Level 3 Subscribers
Effective December 21, 1984, an additional 25 NASDAQ National Market System (NASDAQ/NMS) securities will begin trading in the Small Order Execution System (SOES). SOES began successfully on December 14 with over 66,000 shares in 25 different stocks traded during the first day of operation. (A list of those securities is contained in
Kym Weiland, Senior Vice President, Delivery Services Technology at FINRA, brings over 20+ years of diversified experience that encompasses Incident Management, Change Management, Cloud Resiliency, Site Reliability Operations and Monitoring. She currently leads a multi-disciplinary team of leaders and professionals who manage end user support, cloud management, production operations, monitoring
NASD Creates Two New Exams—Equity Trading And Government Securities
The NASD® Board of Governors has approved the creation of two new qualification exams for securities industry personnel. The new exams, one for Equity Securities Traders and the other for Government Securities Representatives, join an existing battery of tests that NASD Regulation, Inc. (NASD RegulationSM) administers to qualify
I have been contacted by a website called "Let Everyone Invest" that says under the regulations being considered by the Financial Industry Regulatory Authority (FINRA), if these public securities are deemed to be complex, you may not be able to buy them unless you: Pass a regulator-imposed test of your specialized investment knowledge Demonstrate a high net worth Get special approval
The Neutral Corner - Volume 1—2022
SUGGESTED ROUTING
Senior Management
Corporate Finance
Institutional
Legal & Compliance
Municipal
Operations
Systems
Trading
As of June 20, 1997, the following bonds were added to the Fixed Income
The Neutral Corner—Volume 4, 2021
(a) A Trade Reporting Facility Participant shall clear and settle transactions in designated securities through the facilities of a registered clearing agency that uses a continuous net settlement system. This requirement may be satisfied by direct participation, use of direct clearing services, or by entry into a correspondent clearing arrangement with another member that clears trades through
